Data Access Panel application guidance - Gov.uk

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The online web based database is available on the HMCTS intranet site, click ... for example, on spreadsheets or forms then sent to a secure mailbox via email. ... take into account the time it will take for court / tribunal staff to retrieve and replace .... Placed in the custody of a person conducting an inquiry or arbitration or the...
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Data Collections & Research Request to



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Her Majesty’s Courts & Tribunals Service (HMCTS)

Data Access Panel (DAP)

March 2015



GUIDANCE NOTES







covering proposed new / revised data collections and research to be undertaken

in courts in England and Wales & HMCTS tribunals in England, Scotland and Wales GUIDANCE NOTES

Her Majesty’s Courts & Tribunals Service (HMCTS) Data Access Panel (HMCTS DAP)

Her Majesty’s Courts & Tribunals Service (HMCTS) is a separate Executive Agency within the Ministry of Justice. It is imperative that data collections or research investigations within HMCTS courts and tribunal hearing centres or its other offices should not impede the operation of that court / hearing centre / office. Accordingly all requests for changes to established data collections, new data collections and research using case file or involving interviews with court staff, must be considered and approved by the HMCTS Data Access Panel (HMCTS DAP).

Preliminary Points to Consider Before Completing DAP Application form

• Answers to the Questions in the Application Form should be succinct while providing all pertinent information. Incomplete forms or inadequate answers may result in not obtaining HMCTS Business Sponsorship, or at least a delay in the HMCTS Data Access Panel’s consideration of the Application

• Alternative sources of the data must be considered fully before the courts or hearing centres are considered

• Where detailed research tender / proposal documents are available, these should be attached to the Application and answers to appropriate questions should refer to these documents

• If there are uncertainties about the way you will conduct your research / what data is available, further guidance is supplied in the guidance notes for question 14; or

• If you need advice on setting up and analysing this research / data collection, please contact the Ministry of Justice’s Justice Statistics Analytical Services (JSAS) (see MoJ Contacts at end of this document) who will be pleased to help

• All new MoJ research projects that have not yet received ministerial approval must enter the new research quality assurance (RQA) process (see MoJ's research intranet site for details or MoJ Contacts at end of this document)

• If your proposed activity is to interview the Judiciary only then no DAP application is required. Contact should be made with the appropriate Business Sponsor (see pages 3/4). Senior Judicial Agreement is required and this will usually be sought by the Business Sponsor

• If your request is for Judicial Participation in Research Projects please follow the information provide in the link below http://www.judiciary.gov.uk/publications/judicial-participation-in- research-projects/

• If your request includes looking at unanonymised data held within case files, a Privileged Access Agreement (PAA) will be required (see Question 14 guidance). It will be a requirement of the PAA that you MUST submit a copy of your publication to your Business Sponsor, the DAP Secretariat, and to the Ministry of Justice Records Management Services (MoJ RMS) for approval PRIOR to publication

If you have any questions or queries, or need guidance on how to be able to analyse the impact of your proposals, feel free to contact the DAP secretariat Umesh Mistry [email protected]

Section 1 - Applicant’s and Business Sponsor's details Section 2 - Research / Data Collection details Section 3 - Collection Method Section 4 - Impact Assessment Section 5 - Case identification/extraction – access to/use of personal data Section 6 - Link to Government Objectives

Title of data collection / research request

Please provide a clear and succinct title (e.g. Review of the Reasons for Adjournments in the Crown Court)

Section 1- Applicant’s and Business Sponsor's details

Question 1 - Applicant details

Please provide full details, including clarity about your role in your organisation.

Question 2 - Business Sponsor details

Please provide the details of the HMCTS Business Sponsor. Sponsorship is essential for the application to proceed.

If the Business Sponsor supports your application, they will have responsibility for making any necessary arrangements for you to contact / visit courts or hearing centres.

For external researchers (i.e. those not employed by the Ministry of Justice), it is essential that you make contact with the relevant Business Sponsor to request their sponsorship prior to the submission of the DAP Application to the HMCTS Data Access Panel Secretariat. If you have not identified a Business Sponsor or are unsure who the correct Business Sponsor is, the HMCTS Data Access Panel Secretariat will be able to provide advice.

The initial contact with the Business Sponsor will inform them of your pending application and in addition, they will be able to provide some advice and guidance in relation to the completion of your application form and provide any relevant business area policy knowledge. A list of relevant Business Sponsors are listed below.

For internal researchers (i.e. those employed by the Ministry of Justice) the HMCTS Data Access Panel will usually only consider applications that have a Business Sponsor, nevertheless if there is a legitimate business need for the business area who are making the request to be the Business Sponsor this may suffice depending on the circumstances. If this is the case then you will be required to inform the HMCTS Data Access Panel Secretariat accordingly by completing Question 2 with the details of the appropriate contact within your Business Area.

Business Sponsors should note that they are responsible for ensuring that the proposed data collection / research request is legally defendable. If there is any doubt, either about the planned sampling method or the research topic, the business sponsor MUST seek an independent legal view and provide this to the HMCTS DAP Secretariat before an application can be progressed.

A list of key business sponsors can be found below.

|HMCTS Business Sponsors | |Criminal Research / Data|HMCTS – Crime Directorate | | |2nd Floor, 102 Petty France | |Collection |London, SW1H 9AJ | | |Email: | | |[email protected] | |Civil Courts- Civil |Paul Downer | |Research / Data |HMCTS – Civil, Family and Tribunals | |Collection |Directorate | | |1st Floor, 102 Petty France | | |London, SW1H 9AJ | | |Email: [email protected] | |Family Courts- Family |Patrick O’Shea | |Research / Data |HMCTS – Civil, Family & Tribunals | |Collection |Directorate | | |1st Floor, 102 Petty France | | |London, SW1H 9AJ | | |Email: patrick.o’[email protected] | |Tribunals- Tribunals |Paul Harris | |Research / Data |HMCTS – Tribunals Service | |Collection |Arnhem House | | |31 Waterloo Way | | |Leicester, LE1 6ZX | | |Email: [email protected] | | | | |Judiciary Participation |Email: | |Only |[email protected] |

Section 2 - Research / Data Collection details

Question 3 - What is the latest date for approval by the appropriate HM Courts & Tribunals Service Data Access Panel (HMCTS DAP) (and, if relevant, to issue a Data Sharing Agreement (DSA) and/or a Privileged Access Agreement (PAA))

The stages involved that will lead to a successful request are:

Stage 1: Completion of the Application Form by the researcher/requestor – assisted, as necessary, by the Business Sponsor with a clear methodology included

Stage 2: Application Form submitted to the HMCTS Data Access Panel (DAP) Secretariat. Business Sponsorship is essential for the application to proceed and only once sponsorship is given, will the Application be thoroughly vetted by the DAP Secretariat. This is often the longest stage as the DAP Secretariat seeks to address any gaps/queries in the application

Stage 3: Consideration and approval by the HMCTS Data Access Panel – who are given 10 working days to consider the application

These processes can take time, depending upon the complexity of your request and only once approval has been given will (if required) the drafting of the Privileged Access Agreement (PAA) commence (see Question 14 guidance). This again may take up to two weeks, depending upon the complexity.

Likewise, if there is a need for a Data Sharing Agreement (DSA), the process will take longer (difficult to assess in advance), as this legally binding contract will have to be agreed and signed by all relevant parties. A DSA is usually needed when there is to be a formal arrangement between government agencies to share data either from the court files or information held within one of MoJ / HMCTS’ IT systems.

You should therefore build sufficient time into your timetable and make sure that you start the process well in advance of your proposed data collection / research. It is also important that the information you provide is part of the final plan for the project, since any substantive changes may mean restarting the process from scratch.

Question 4 - Type of request

Please tick one (or more if relevant) of the options in relation to your request. In addition, in the box provided please give a brief summary of your type of request.

• A new data collection

A new data collection relates to data which is not currently collected usually by any of the HMCTS Information Technology systems.

This request can be a one off data request or for a request to collect data on a regular basis e.g. monthly/quarterly. Whether the collection is one-off or periodic, you will be required to provide a business case.

• A change to a current data collection

You will need to provide a robust business case for this change and clarity about the funding of any cost involved.

• A research request from within HM Courts & Tribunals Service or the Ministry of Justice

If you are an internal researcher i.e. employed by the MoJ please tick this option.

• An external research request

If you are an external researcher i.e. not employed by the MoJ please tick this option.

Question 5 - Please give the key details of your changes to data collection / the aims and objectives of your research

Please outline the key details of you request, providing full details of aims and objectives.

It is important that there is a clear business process devised in order for there to be clarity about the impact on HM Courts & Tribunals Service staff. Please therefore attach a full methodology and any supporting documentation at this stage, as any lack of clarity may well delay your application.

The Methodology must include:

1) Proposal: Please highlight the key elements of your research / data collection proposal, why are you doing this research or data collection, what will you be doing, how will you be doing it, who will be doing it and how long will it take.

2) Research / Data Collection aim: Indicate the expected outcomes of the research / data collection, preferably in measurable terms. You should show what you will do, for whom, by how much, and by when. When the research / data collection is completed, you will be able to evaluate it and determine whether the research / data collection succeeded or not in achieving its objectives. Identify short-term and long-term objectives.

3) Data Collection / Research context: This is a plan of action for how the objectives will be achieved. This section should provide a description of the overall approach, its relevance, effectiveness, and innovativeness. Give details on methodology and how anticipated problems will be managed.

4) Research / Data Collection fundamental questions: Highlight the fundamental questions to be answered in the research / data collection (e.g. How many … / What are the factors that … / How long between …)

5) Method: Using the examples below please provide details of the data or information to be collected.

(a) Data to be collected (clearly identifying Personal Data in bold): (i) Base data - for example * Court * prosecutor * date of application / offence / charge / 1st hearing * defendant's gender, age, ethnicity * witnesses * offence / reason/s for application * other applications if any

(ii) Process data - for example * date and content of first directions * date of appointment of guardian * no. of guardian reports; dates ordered; dates filed * track compliance with directions, any delays, reason for delays through action/inaction by LA, guardian, parents, other parties, experts, other agencies * any adjournments or postponements (in criminal cases, cracked or ineffective trails) * type of final order/s, disposal or conviction/s * Length between various stages of the case

(b) Who doing what, where - for example * list of individuals who will access court file data / conduct interviews * c.v for those individuals * Resource requirements at locations (e.g. files provided to a desk/room to be perused) * Means of data collection (e.g. by photocopying, spreadsheet, interview & notes/tape)

6) Security handling arrangements for collected data, in particular relating to the Seventh Principle (Security) of the Data Protection Act 1998: Please indicate what security handling arrangement will be made for the data to be collected from the courts or offices, please refer to the link below for further details http://www.legislation.gov.uk/ukpga/1998/29/schedule/1/part/II/crossheading/ the-seventh-principle

Security must be appropriate to the nature of the data to be protected. Court files will almost inevitably include personal and sensitive information, which requires the highest level of security and confidentiality. The required levels of security must be maintained throughout processing – wherever that may be. If the research / data collection involves a team, one member should be responsible for overall data security and should control who has data access, for how long and at what level.

Recommended security measures: Manual data should be stored in a locked facility when not under the direct supervision of a data holder or processor, including questionnaires, notes and other paper files, audio- and videotapes, photographs and negatives, floppy and zip disks, microfiche records.

Access to data stored on a computer should be controlled by individual passwords and, where appropriate, access to individual files should also be password- protected. Do not leave a PC unattended with an active, password- protected program still running. Back up research data regularly. Back up files should be kept on a shared drive, rather than floppy disks. 

Consider the security of data ‘on the move’, e.g., e-mail, posting work to a co-researcher, using a laptop, etc. If possible, use or initiate ‘safe- haven’ procedures for such communications, e.g., locate the fax machine or printer in a lockable room with restricted access.

7) Outcomes: Define the major outputs expected from the research / data collection, while outlining plans for disseminating or implementing the findings of the proposed research. Examples of outputs include workshops and conferences, reports and publications, new methodologies or technologies, improved research skills, and institutional reinforcement. Show how research results will be communicated to users and decision- makers.

The expected impact of research results should be discussed in reference to some or all of the following:

• their potential use; • their contribution to existing procedures and practices; • policy formulation and implementation; • development processes at the local, national, and regional levels; and

• the needs of specific target audience.

8) Ethical approval: (Note: the UK requires that research on human subjects must be reviewed by independent ethics committees) research / data collection that involve the collection of private or personal information, or the participation of individuals in research must be designed in ways that protect the privacy, dignity, and integrity of those who are the subjects of research.

For research / data collection involving research on human subjects, which raise ethical issues, HMCTS requires that an independent ethical review committee, in the recipient institution approve ethical protocols. The proposal should provide detailed information on the ethical dimensions of the research and how these are being handled.

For research / data collection involving the collection of corporate or personal information, the proposal should provide details on how informed consent will be obtained and how the information will be kept confidential.

9) Timetable: taking into account the time to proceed through the DAP process / time for a Data Sharing Agreement/Privilege Access Agreement to be drafted and cleared / availability of proposed participating locations, describe how long (days, months) specific tasks or components of the project will take. If possible, include a milestone chart.

10) References: e.g. source reference data relating to the proposed research

Question 6 - What is the anticipated start date and duration of this data collection / timetable for this research?

It is important to ensure that there is sufficient time for the application to be processed before the proposed start date and clarity about when and for how long there is likely to be any impact on HMCTS staff.

Section 3 Collection Method

Question 7(a) - What collection method/s do you propose to use?

Please note that there are procedures and practices relating to security which must be followed if personal data / information are to be transferred by email.

• Online (web based collection) e.g. OPT

This is for internal researchers within MoJ to consider. One Performance Truth (OPT) is a web based collection tool for HMCTS, OPT currently collects key datasets from the criminal, family and civil courts (including Royal Courts of Justice). Before you make your request for any new data collection or changes to a current existing data collection please check that OPT and / or other online web based collection tools to ensure that the data is not already been collected. The online web based database is available on the HMCTS intranet site, click on the performance tab.

Online web based collection tools will only be considered for applications for periodical collection of data. Therefore you will be required also to provide a business case to the OPT administration for the sought data. This will usually be considered in tandem with your DAP application.

• Email

This includes the collection of data from courts or hearing centres that will gathered, for example, on spreadsheets or forms then sent to a secure mailbox via email.

• Extract from existing IT systems

It may be possible to extract the data from an existing IT system. The DAP Secretariat will make enquiries as necessary once the Application has been received and it is clear what data is being requested.

If you know which IT system the data is to be extracted from, please provide details in the box.

• Other electronic (e.g. spreadsheet)

This includes courts / hearing centres completing the sought data and saving it on a spreadsheet (see also 'email' and 'paper').

• Telephone

Please explain in your methodology if any conversation are planned to be recorded.

• Paper

Please explain in your methodology how the 'paper' will be handled. This includes the collection of data from courts or hearing centres, completing manual spreadsheets or forms then sending it to the researcher via secure post.

• Interview

See guidance notes 7 (b) below.

• Other

Covering anything not mentioned above with a full explanation in the methodology.

Question 7(b) - If interviews are included, please specify

If you are seeking to collect data or information via interviews please tick one or more (if relevant) of the options below.

• Court / tribunal admin staff

You must supply an outline of the areas under discussion or where possible, the questions in advance.

• Court / tribunal legal staff

You must supply an outline of the areas under discussion or where possible, the questions in advance.

• Court / tribunal staff and judiciary

You must supply an outline of the areas under discussion or where possible, the questions in advance.

If your request or part of your request is to interview or hold focus groups with the judiciary please contact the relevant Business Sponsor for further details, as there are additional and separate arrangements for judicial involvement.

• Judiciary only

If the proposed activity only involves interviewing the judiciary, then no DAP application is required and contact should be direct with the appropriate Business Sponsor. Senior Judicial Agreement is required and this will usually be sought by the 'Business Sponsor'.

You must supply an outline of the areas planned to be under discussion or where possible, the questions in advance to the Business Sponsor, as well as with whom / locations etc.

Further guidance relating to Judicial Participation in Research Projects can be found at: http://www.judiciary.gov.uk/publications/judicial- participation-in-research-projects/

Section 4- Impact Assessment

Question 8 - Impact assessment

Please give an estimate of the burden for each HM Courts & Tribunals Service Business Area affected, indicating in person days how long it will take each business area to complete the exercise and remember to include all levels of staff – e.g. if the proposed data to be gathered includes Cluster/Area or Regional staff. In the table please state in the column ‘Per Court/Office’ the number of person days for each business to provide the information. A person day equates to 7.2 hours per person.

If your request includes looking at unanonymised data held within case files, you must remember to take into account the time it will take for court / tribunal staff to retrieve and replace files, from various (including off-site) storage arrangements. Whether HM Courts & Tribunals Service staff or not, general access to court files is not allowed.

In the column ‘State number of location to be visited / affected’ please provide the number of visits or courts / offices affected against each business area.

Question 9 - Please list the proposed court/s and/or offices which will be contacted / visited / affected by your proposed activity

Please list all the locations that are to be contacted / visited or will be participating in your research or data collection.

If your proposed activity affects all or the majority of the courts in a specific business area then please state ‘all' or 'majority magistrates' courts’ for example and also complete Qu.11.

Question 10 - Will your research / data collection have any immediate or future positive resources savings for HMCTS?

If yes, please explain how.

Question 11 - If ‘All’ or a majority of locations, is stated above in Qu.9, for any business type, please give explicit reasons why a sample is not appropriate

Impact on the courts and deflecting them from their primary business of running a courthouse must be clearly demonstrated to be justified.

Question 12 - Are the estimates above and the collection’s design supported by any consultation exercises, pilots or other tests of the proposal?

If yes, give details in the box provided, stating who was involved; or, if yet to take place, is there sufficient detail set out in the answers to Questions 4 & 5 and in any attached methodology?

Question 13 - Are you seeking response to a questionnaire?

If yes, please attached a copy of the questionnaire to this form, ensuring that the methodology accompanying the answer to question 5 clearly explains who it is to go to and how it will be handled securely.

If you are seeking to use a questionnaire then you must supply a copy questionnaire with this completed application form.

Section 5 Case identification/extraction – access to/use of personal data

Question 14 - Do you require access to case files, documents or other records held by HM Courts & Tribunals Service which are not available to the public?

A researcher cannot have general access to case files

Case files are closed to the public until they are a minimum of thirty years old. This was set out in the Public Records Acts 1958 and 1967 (PRAs) and has not been altered by the Freedom of Information Act 2000 (FoI). It is worth noting that granting any requests made under the FoI would makes the information released to one requestor available to the wider public.

Research requests will often seek to involve access to case files. Inevitably, data held in case files and other court or tribunal records (including electronic systems) can be of a sensitive and personal nature, and access to those records is subject to legal restrictions – most notably the Public Records Acts 1958 & 1967, and the Data Protection Act 1998. However, the Ministry of Justice (MoJ) can grant special authority, subject to various conditions, to inspect otherwise exempt case files in England and Wales. This may be possible through the granting of a Privileged Access Agreement (PAA) by the Departmental Records Officer who has authority delegated from the Lord Chancellor.

The requestor must demonstrate that it would be appropriate or desirable for access to be allowed to files for a specified reason which will be judged on the merits of the application but would need to be substantive and sufficient to outweigh the exemption. This requirement applies equally to other Government Departments / agencies (whether within the Ministry of Justice or not) as well as individuals and external organisations. No reference is made in the PRAs or the FoI to Government Departments having automatic rights of access to each other's records.

Therefore if the request is made by an external researcher (i.e. not employed by HMCTS or the Ministry of Justice) and includes a request for access to unanonymised data held within court files, a Privileged Access Agreement is required, under the provisions of the Public Records Act 1958.

Applying for a Privileged Access Agreement (PAA)

In an agreed and secure way, you will need to identify the case files you wish to inspect before the PAA is issued. Please set out in the application form/attached methodology the exact data you hope to extract from the files and what arrangements, if any, you have made to identify the cases involved.

Court and tribunal staff must receive a list of specific cases in order to be able to retrieve the files for a researcher, or appropriate parameters from which to select files (e.g. all trials on a particular day).

A researcher cannot have general access to case files

You may, however, be uncertain about whether case files contain the information you need, or how to identify a sample of case files for your study. In these circumstances, we suggest that you complete all parts of this Application as fully as possible and request a two-stage approach.

1. A feasibility stage to test the availability of data and, if this is successful, 2. A main stage of data collection.

The Ministry of Justice’s Records Management Services will assess whether a separate PAA should be issued for the feasibility stage and the Business Sponsor will assess what support and guidance court staff might be able to provide to help identify suitable cases.

Some cases can be identified through central electronic databases held by HMCTS (for the Crown Court and county court family cases) and currently by the Office for Criminal Justice Reform (for magistrates’ court cases). The HMCTS Strategy and Change Directorate should be contacted about the data available from these sources (contact details in the 'Other MoJ Contacts' at the end of the Guidance).

The feasibility stage would involve your request to conduct a limited study in order to ascertain whether the information is held in the case files and how you will select files for your study. You should clearly set out in your Application details of the information you want to find. The likely points to be clarified include:

• a list of specific types of case kept; • how are the cases logged; • how are the files stored; • can the specific cases be identified; • what data are contained on the ‘file’; • How can a list of cases be created in order that it can be used to attach to the PAA, or if the aim is to be completely random, how best that can be achieved and be statistically robust.

It must be stressed that agreement to the feasibility stage does not necessarily imply agreement to the main study. Each application will be assessed on the comprehensiveness of the information supplied and, crucially, the impact of the research on the operation of the courts and hearing centres. Courts and hearing centres are subject to time and case volume pressures and staff may not be able to accommodate additional demands.

REMINDER:

Court and tribunal staff will always have to physically obtain the case files for external researchers. The case files will need to be obtained from various (sometimes off-site) storage arrangements. The pre- identification of cases is therefore essential if your project is to be viable. You should consider whether the identification of cases or even the collection of the data you seek may be better done through some other source (see Question 25).

You will need to provide with this form a CV for every individual who will have access to the case files, whether on site at a court or by having access to the data while held securely elsewhere. Then, once approval has been given, apply through the Business Sponsor for a Privileged Access Agreement (PAA)

Question 15 - How many cases are to be reviewed/extracted?

Attention should be given to the balance between (i) the effort to find and extract the number of files; (ii) the location of the files; (iii) whether the files are of completed or on-going cases; (iv) the likelihood that the files contain the required data and in what way.

Question 16 - Please list the personal data which is planned to be extracted

Personal data is any data held by the HMCTS or its delivery partners whose release or loss could cause harm or distress to individuals.

Personal data means data which relate to a living individual who can be identified –

(a) from those data, or (b) from those data and other information which is in the possession of, or is likely to come into the possession of, the data controller,

and includes any expression of opinion about the individual and any indication of the intentions of the data controller or any other person in respect of the individual.

It includes the following categories: a) Any information that links one or more identifiable living person with information about them whose release would put them at significant harm or distress b) Any source of information about 1,000 or more identifiable individuals, other than information sourced from the public domain c) Any personal information from the court file or court computerised record including: • Information filed with or otherwise placed in the custody of a court (or tribunal), or • Served upon or by a public authority, for the purposes of court proceedings • Placed in the custody of a person conducting an inquiry or arbitration or the purposes of that inquiry of arbitration • Created by a court or member of the administrative staff for the purposes of court proceedings • Created by a person conducting an inquiry or arbitration for the purposes of that inquiry or arbitration

d) Any court record which identifies an individual by • Name • Addresses (home or business or both) • Postcode • Email • Telephone numbers • Driving licence number • Date of birth

and / or combined with: • Bank, financial or credit card details • Mother’s maiden name • National Insurance number • Tax, benefit or pension record • Material relating to social services including child protection and housing • Health records • Employment records • DNA or finger prints • School attendance or records • Sensitive personal data including records relating to the criminal justice system, and group membership

Further details can be found at the following links.

http://www.legislation.gov.uk/ukpga/1998/29/section/1 http://www.legislation.gov.uk/ukpga/2000/36/section/32

Sensitive personal data means personal data consisting of information as to:

(a) the racial or ethnic origin of the data subject, (b) his / her political opinions, (c) his / her religious beliefs or other beliefs of a similar nature, (d) whether he /she is a member of a trade union (within the meaning of the [1992 c. 52.] Trade Union and Labour Relations (Consolidation) Act 1992), (e) his / her physical or mental health or condition, (f) his / her sexual life, (g) the commission or alleged commission by him of any offence, or (h) any proceedings for any offence committed or alleged to have been committed by him, the disposal of such proceedings or the sentence of any court in such proceedings.

Further information can be found at: http://www.legislation.gov.uk/ukpga/1998/29/section/2

Question 17 - Have you identified the cases already?

If so how? And if not, how do you propose to do so?

Question 18 - Will you be providing the courts/hearing centres with a list of case files/data to be extracted?

If yes, is this list being provided by HM Courts & Tribunals Service? HMCTS may be able to provide a list of case from one of the database held centrally, if the information is held. If necessary, further enquiries will need to be made with the DAP Secretariat before the DAP process commences.

If No, (e.g. proposed to be supplied by MoJ statisticians), then permission must be sought from HMCTS Performance, Analysis and Reporting Team (PART) in order to proceed.

Question 19 - How will the information be stored?

Please provide clear detail and explain what data protection controls you will employ and therefore how you will guarantee the security of the data. Further details or clarity maybe required if the DAP are not satisfied with your proposed storage method.

Question 20 - Who will be responsible for analysing the data? What is your analysis methodology?

Please provide details about who will be responsible for analysis of the data once collected. Is there a clear analysis methodology, if so please provide details.

The analysis can impact on the type and amount of data collected.  Please provide information on the type of statistical or qualitative analysis to be applied, level of sub-group analysis expected and levels of error expected.

Section 6 Link to Government Objectives

Question 21 - What MoJ Departmental Objectives or other key ‘targets’ does the application support?

If ‘none’, please give reasons why the application should be approved.

Question 22 - Who support this proposal?

Please state which Ministers and/or senior MoJ/HMCTS staff are aware of the proposal and which support it. If you have already approached the court or tribunal manager/s affected, please state whether or not they support your application.

Question 23 - What are the benefits of the data collection / research request to the Ministry of Justice and HM Courts & Tribunals Service?

Please state the benefits of your data collection or research to MoJ and / or HMCTS.

Question 24 - Do you intend to share this information with other researchers, the MoJ, HM Courts & Tribunals Service, other government agencies or others?

If yes, please provide clear detail and explain what data protection controls you will employ and therefore how you will guarantee the security of the data?

Question 25 - Have you considered getting this information from other agencies / sources?

If yes, what information is to be obtained from them? If no, explain why the data can only be obtained from courts / hearing centres

Question 26 – Are 'protected characteristics' data under the Equalities Act 2010 to be collected? (e.g. age, disability, gender reassignment, marriage & civil partnership, race, religion or belief, sex, sexual orientation)

If yes, please confirm which category / ies and if ethnicity as a part of race, which category is proposed e.g. between 16+1 (self-defined) and 4+1 (observed)

|16+1 (self-defined) |4+1 (observed) | |Asian or Asian British |Asian Indian sub-continent | |A1- Indian | | |A2- Pakistani | | |A3- Bangladeshi | | |A9- Any other Asian background | | |Black or Black British |Black | |B1- Caribbean | | |B2- African | | |B9- Any other Black background | | |Mixed | | |M1- White and Black Caribbean | | |M2- White and Black African | | |M3- White and Asian | | |M9- Any other Mixed background | | |Chinese or other ethnic group |Other | |O1- Chinese | | |O9- Any other ethnic group | | |White |White | |W1- British | | |W2- Irish | | |W9- Any other White background | | |Not Stated |Unknown | |NS- Not Stated | |

Question 27 - Is the information intended for publication or other release?

If no, please give reasons why not (Note: Open Government guidelines and the Freedom of Information Act assume most data can be released unless there are specific confidentiality issues)

If yes, please give details of the publication or release strategy

If your request includes looking at unanonymised data held within case files, it will be a requirement of the Privileged Access Agreement (PAA) that you MUST submit a copy of your publication to your Business Sponsor, the DAP Secretariat, and to the Ministry of Justice Records Management Services (MoJ RMS) for approval PRIOR to publication

Further Information

|MoJ Contacts | |HMCTS Strategy & Change |Umesh Mistry | |Directorate |HMCTS Strategy & Change Directorate | |DAP Secretariat |1st Floor 102 Petty France | | |London, SW1H 9AJ | | |Email: [email protected] | |Ministry of Justice |Bridgette Miles | |Justice Statistics |MoJ – Justice Statistics Analytical | |Analytical |Services (JSAS) | |Services |7th Floor | |(JSAS) |102 Petty France | | |London, SW1H 9AJ | | |Email: [email protected] | |Ministry of Justice |Carole Burry | |Records |MoJ – Records Management Services | |Management Services |1st Floor | | |102 Petty France | | |London, SW1H 9AJ | | |Email: [email protected] | |Ministry of Justice |Amy Summerfield | |Access to Justice |MoJ – Access to Justice Analytical | |Analytical Services |Services (ASAS) | |(ASAS) |7th Floor | | |102 Petty France | | |London, SW1H 9AJ | | |Email: [email protected] | | | |See Page 4 for the contact details for Business Sponsors |

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